[Federal Register Volume 60, Number 75 (Wednesday, April 19, 1995)]
[Rules and Regulations]
[Pages 19534-19537]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-9466]



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[[Page 19535]]

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

49 CFR Part 40

[Docket 49713]
RIN 2105-AB95


Procedures for Transportation Workplace Drug and Alcohol Testing 
Programs

AGENCY: Office of the Secretary, DOT.

ACTION: Final rule.

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SUMMARY: On August 19, 1994, the Office of the Secretary of 
Transportation issued a final rule requiring transportation employers 
to begin using a new Federal Drug Testing Custody and Control Form for 
all DOT-required drug tests on February 16, 1995. This final rule 
extends the date by which transportation employers must comply with the 
use of the new form to June 1, 1995.

EFFECTIVE DATE: This rule is effective April 19, 1995.

FOR FURTHER INFORMATION CONTACT: Kenneth Edgell, Office of Drug 
Enforcement and Program Compliance, Department of Transportation, 400 
7th Street SW., room 9404, Washington, DC 20590 (202) 366-3784.

SUPPLEMENTARY INFORMATION: In February 1994, the Department of 
Transportation published a final rule which, in part, revised drug 
testing procedures for employers in the aviation, maritime, railroad, 
mass transit, pipeline, and motor carrier industries. In August 1994, 
the DOT issued minor or technical amendments to the rule. One such 
amendment was the mandatory use ``without exception and without 
modification'' of the Federal Drug Testing Custody and Control Form for 
all DOT urine specimen collections. The form was designed through a 
lengthy and corroborative effort among DOT, the Department of Health 
and Human Services, and other interested parties. This form is 
authorized for use only in Federal employee testing programs and for 
testing conducted under DOT operating administration rules, and is not 
authorized for use in any other type of drug testing program. This form 
will accommodate both split and single specimen collections; 
instructions for proper use are printed on the back of the last page of 
the form. All seven pages of the form were printed on August 19, 1994, 
(59 FR 43005-43012); only the front page is reproduced in Appendix A to 
this rule. This form may be produced by transportation employers, DHHS 
laboratories, collection sites, etc., but must be an exact duplication 
without modification. OMB has approved the form under the Paperwork 
Reduction Act, having assigned the OMB No. 9999-0023, with the 
expiration date of June 30, 1997.
    Employers are required to record information specific to the 
collection of a urine specimen to be used for a DOT drug test. The 
information that is required is identified on the new Federal Drug 
Testing Custody and Control Form, and information may not be gathered 
that is inconsistent with that required by the new form. Mandatory use 
of the new form had been set to begin on February 16, 1995. Recent 
information from laboratories, the primary suppliers of the form, and 
collectors and employers, the main users of the form, indicated that 
the form is not universally available. A variety of reasons 
contributing to the unavailability includes DHHS laboratories failure 
to print the new forms in a timely manner, as well as their mistaken 
belief that inventories of existing forms could be used up prior to the 
phase-in of the new form. Assertions were also made that the colored 
paper for the seven-part form is available only on a limited basis, and 
that the form is not yet available for sale at the Government Printing 
Office. After careful consideration of the validity of this situation, 
the Department has extended the compliance date for mandatory use of 
the form to June 1, 1995. Collections made with out-of-date forms after 
that date should not be rejected (by DHHS laboratories) solely because 
of the usage of the form. Procedures for corrective action were 
provided the DHHS laboratories via a memorandum on January 23, 1995 
from DOT (Office of Drug Enforcement and Program Compliance). These 
procedures will continue to be in effect after June 1, 1995. DOT 
compliance agencies will be reviewing the use of the new form and may 
assess penalties against transportation employers who are not in 
compliance after June 1, 1995.

Federal Drug Testing Custody and Control Form

    The following provides printing and use instructions for the new 
form.
    All entities conducting urine specimen collections and drug testing 
under 49 CFR part 40 shall exclusively use the standard Federal Drug 
Testing Custody and Control Form. The form, a seven-part carbonless 
manifold, shall be 8\1/2\ by 11 inches in detached size. Part 1 (white) 
is the original and must accompany the specimen to the laboratory. Part 
2 (white) is the second original and must accompany the specimen to the 
laboratory. Part 3 (white) is the split specimen original and must 
accompany the split specimen to the laboratory. Part 4 (pink) must be 
sent directly to the Medical Review Officer. Part 5 (green) must be 
given to the donor. Part 6 (yellow) is retained by the collector. Part 
7 (blue) is forwarded to the employer.
    Print part numbers and designations in red ink at the bottom left 
on all parts. Print all other information in black ink. Chemical 
transfer image must be black.
    Parts 1 through 7 must have a preprinted specimen identification 
number. This number, \1/8\'' to \3/16\'' high (size recommended), 
reading parallel to the 8\1/2\'' dimension, in a space 1\1/4\''  x  \3/
16\'' (size recommended) in the top center of all parts (to correspond 
with ``SPECIMEN ID NO.'' and appear to the left of the ``A'' delimiter 
(or ``B (SPLIT)'' on Part 3) on all parts). The identical specimen 
identification number \1/8\'' to \3/16\'' high (size recommended), in a 
space 1\1/4\'' x \3/16\'' (size recommended), shall appear on Part 1 on 
each unitary label/seal (to correspond with ``SPECIMEN ID NO.'' and 
appear to the left of the ``A'' and ``B (SPLIT)'' delimiters). Note: 
The specimen identification number on the form (all seven parts) must 
be identical to the specimen identification number on the labels. 
Specimen identification numbers may be printed individually to each 
part prior to assembly, or ``crash numbered'' on all parts 
simultaneously after assembly. All numbers must be clear and legible on 
all parts. These numbers need to be unique only for the particular 
collection. However, the DOT favors numbering systems (e.g., 6 or more 
digits) that are unique to, and controlled by, the printer of the form.
    The unitary labels/seals are to be of tamper-evident quality, and 
shall be on a perforated stub on the right-hand side of Part 1. The 
actual size of the labels may be modified to properly fit the specimen 
bottles to which they will be affixed. A shipping container seal is 
required for DOT specimens, however, making the shipping container seal 
part of the form is optional; this seal may be supplied as a separate 
item in a laboratory's specimen collection kit. If the shipping 
container seal is part of the form, it must be placed in the label area 
on Part 1. Part 7 may have a corresponding perforated stub (as backing) 
to match Part 1 (i.e., to aid in form production and stability).
    The top portion, reading parallel to the 8\1/2\'' dimension, (above 
SPECIMEN ID NO.) on Parts 1 through 7 may be customized to contain the 
laboratory's logo and/or bar coding necessary for 
[[Page 19536]] accounting and identifying information. No other areas 
on the form are subject to modification, other than under the 
provisions of section 40.23(a) which must be approved by the DOT. If 
bar coding is used in the top portion of Part 1, a corresponding bar 
code may appear on each of the unitary labels/seals (and shipping 
container seal, if applicable).
    OMB No. 9999-0023 and Expiration Date: 6/30/97 must appear on the 
Federal Drug Testing Custody and Control Form. (Note the number and 
date in the lower left-hand corner of the form in Appendix A.) The form 
will be placed in stock in the Superintendent of Documents, Government 
Printing Office for sale to the general public by the compliance date.

Regulatory Analysis and Notices

    This is not a significant rule under Executive Order 12866 or under 
the Department's Regulatory Policies and Procedures. It does not impose 
costs on regulated parties and may, to a limited extent, reduce 
regulatory burdens. Consequently, a regulatory evaluation has not been 
prepared. The Department finds, for purposes of the Administrative 
Procedure Act, that issuance of a notice of proposed rulemaking on 
these subjects is unnecessary, impracticable, or contrary to the public 
interest. This amendment simply extends the compliance date for use of 
the form. The use of the form conforms to previous, joint DOT/DHHS 
actions, and the rapid issuance of this notification is in the interest 
of the public. The immediate effective date for this amendment is 
established because of the necessity of immediately correcting a 
situation that may be beyond the practical control of many 
transportation employers, yet still cause them to incur penalties.

List of Subjects in 49 CFR Part 40

    Drug testing, Alcohol testing, Laboratories, Reporting and 
recordkeeping requirements, Safety, Transportation.

    Issued this 4th day of April 1995, at Washington, DC.
Federico Pena,
Secretary of Transportation.

    For the reasons set forth in the preamble, the Department of 
Transportation amends title 49, Code of Federal Regulations, part 40 as 
follows:

PART 40--PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL 
TESTING PROGRAMS

    1. The authority citation for 49 CFR part 40 continues to read as 
follows:

    Authority: 49 U.S.C. 102,301,322; 49 U.S.C. app. 1301nt., app. 
1434nt., app. 2717, app. 1618a.

    2. Section 40.23(a) is amended to read as follows:


Sec. 40.23  Preparation for testing.

* * * * *
    (a)(1) Except as provided in paragraph (a)(2) of this section, use 
of the drug testing form prescribed under this part.
    (i) This form is found in Appendix A to this part.
    (ii) Employers and other participants in the DOT drug testing 
program may not modify or revise this form, except that the drug 
testing custody and control form may include such additional 
information as may be required for billing or other legitimate purposes 
necessary to the collection, provided that personal identifying 
information on the donor (other than the social security number or 
other employee ID number) may not be provided to the laboratory.
    (iii) Donor medical information may appear only on the copy 
provided the donor.
    (2) Notwithstanding the requirement of paragraph (a)(1)(ii) of this 
section, employers and other participants may use existing forms that 
were in use in the DOT drug testing program prior to February 16, 1995, 
until June 1, 1995.
    (3) Appendix A to part 40 is amended by revising the Federal Drug 
Testing Custody and Control Form, Copy 1, to read as follows:

Appendix A to Part 40--Federal Drug Testing Custody and Control 
Form

                                                 BILLING CODE 4910-62-P
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[GRAPHIC][TIFF OMITTED]TR19AP95.001



[FR Doc. 95-9466 Filed 4-18-95; 8:45 am]
BILLING CODE 4910-62-C